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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000: $387,559,149,282
Number of Records: 7,719
Note: The totals include only those entries matched to a parent company. The industry designation is the primary one for the parent's operations overall. The totals are adjusted to account for the fact that each parent's entries may include both agency records and settlement announcements for the same case; or else a penalty covering multiple locations may be listed in the individual records for each of the facilities. They are also adjusted to reflect cases in which federal and state or local agencies cooperated and issued separate announcements of the outcome. Duplicate or overlapping penalty amounts are marked with an asterisk in the individual records list below.
Top 10 Current Parent CompaniesTotal Penalty $Number of Records
Bank of America$87,286,650,890328
JPMorgan Chase$39,340,688,209275
UBS$31,069,299,125179
Wells Fargo$27,616,269,231266
Citigroup$26,945,611,792181
Deutsche Bank$20,011,467,56399
Goldman Sachs$17,729,358,987111
NatWest Group PLC$14,370,701,61843
Morgan Stanley$10,780,502,443203
BNP Paribas$10,363,464,66623

Individual Penalty Records:

Click on the company or penalty amount for more information on each case. Click on the parent name to reach the summary page for that parent company.

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CompanyCurrent ParentPrimary Offense TypeYear sort iconAgencyPenalty Amount
AMERICAN INTERNATIONAL GROUPAmerican International Groupworkplace safety or health violation2003OSHA$5,900
BANK OF AMERICABank of Americaworkplace safety or health violation2003OSHA$5,000
Prudential Securities, Inc.Wells Fargodata submission deficiencies2002CFTC$65,000
THE COLUMBIA BANKFulton Financialbanking violation2002FDIC$7,000
Citigroup Inc.Citigroupconsumer protection violation2002FTC$215,000,000
General American Life Insurance Company, Inc.MetLifeFalse Claims Act and related2002DOJ_CIVIL$76,000,000
Bank of ChinaBank of Chinabanking violation2002OCC$10,000,000
Deutsche Bank Securities Inc.Deutsche Bankdata submission deficiencies2002SEC$1,650,000
Goldman, Sachs & Co.Goldman Sachsdata submission deficiencies2002SEC$1,650,000
Morgan Stanley & Co. IncorporatedMorgan Stanleydata submission deficiencies2002SEC$1,650,000
Salomon Smith Barney Inc.Morgan Stanleydata submission deficiencies2002SEC$1,650,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerdata submission deficiencies2002SEC$1,650,000
Credit Suisse First Boston CorporationUBSinvestor protection violation2002SEC$100,000,000
R.R. Donnelley & SonsChatham Asset Managementemployment discrimination2002EEOC$150,000
Conseco Finance Servicing Corp.CNO Financialwage and hour violation2002WHD$145,512
MetLife Financial ServicesMetLifelabor relations violation2002NLRB$18,500
DitechDitech Holding Corporationwage and hour violation2002private lawsuit-federal$6,150,000
Coast National InsuranceZurich Insurancewage and hour violation2002private lawsuit-state$18,000,000
American Express Financial AdvisorsAmeriprise Financialemployment discrimination2002private lawsuit-federal$31,000,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerinvestor protection violation2002SEC$100,000
Dean Witter Reynolds Inc.Morgan Stanleyinvestor protection violation2002SEC$500,000
RBC Dain Rauscher IncorporatedRoyal Bank of Canadainvestor protection violation2002SEC$500,000
Knight Securities, L.P.Virtu Financialinvestor protection violation2002SEC$75,000
Josephthal & Co., Inc.Oppenheimer Holdingsinvestor protection violation2002SEC$75,000
Norwest Investment Services, Inc.Wells Fargoinvestor protection violation2002SEC$153,245
ACE Cash Express, Inc.ACE Cash Expressconsumer protection violation2002CO-AG$1,300,000
Bankers Life and Casualty CompanyCNO Financialprivacy violation2002KY-AG$5,000
Bear Stearns & Co. LLCJPMorgan Chaseinvestor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $80,000,000
CitibankCitigroupconsumer protection violation2002MULTI-AG$1,600,000
CitibankCitigroupconsumer protection violation2002CA-AG$1,600,000
CitibankCitigroupgambling violation2002NY-AG$100,000
Credit Suisse First Boston Corp.UBSinvestor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $200,000,000
Deutsche BankDeutsche Bankinvestor protection violation2002MULTI-AG$80,000,000
Discover Financial Services, Inc./Millenium Teleservices, Inc.Discover Financial Servicesprivacy violation2002KY-AG$5,000
Fidelity National Title Insurance CompanyFidelity National Financialconsumer protection violation2002CA-AG$31,148,320
First American Title Insurance CompanyFirst American Financialconsumer protection violation2002CA-AG$7,000,000
First USAJPMorgan Chaseconsumer protection violation2002MULTI-AG$1,300,000
Goldman SachsGoldman Sachsinvestor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $110,000,000
Household Finance Corp.HSBCmortgage abuses2002MULTI-AG$484,000,000
J.P. Morgan Chase & Co.JPMorgan Chaseinvestor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $80,000,000
Merrill LynchBank of Americainvestor protection violation2002DE-AG$500,000
Merrill LynchBank of Americainvestor protection violation2002NY-AG$100,000,000
Merrill Lynch & Co. Inc.Bank of Americainvestor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $100,000,000
Morgan StanleyMorgan Stanleyinvestor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $125,000,000
Mutual of OmahaMutual of Omahaconsumer protection violation2002NY-AG$10,000
PayPalPayPal Holdingsconsumer protection violation2002NY-AG$200,000
PNC BankPNC Financial Servicesprivacy violation2002KY-AG$5,000
Salomon Smith Barney Inc.Morgan Stanleyinvestor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $400,000,000
Stewart Title Company of CaliforniaStewart Information Servicesconsumer protection violation2002CA-AG$2,500,000
UBS Warburg LLCUBSinvestor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $80,000,000
Old Republic Title Co.Old Republic Internationalconsumer protection violation2002CA-MULTI$5,096,963
H&R BlockH&R Blockconsumer protection violation2002NY-NYCDCWP$4,000,000
Principal Life Insurance Co.Principal Financialinsurance violation2002AK-INS$16,095
Aon Risk Services Inc. of WashingtonAoninsurance violation2002AK-INS$5,000
Household Finance Corp. of California and Beneficial California, Inc.HSBCmortgage abuses2002CA-DFPI$8,900,000
Harleysville Mutual Insurance Co.Nationwideinsurance violation2002CA-INS$200,000
American International Group et al.American International Groupinsurance violation2002CA-INS$411,500
Principal Life Insurance Co.Principal Financialinsurance violation2002FL-OFR$6,500
Wausau Underwriters Insurance Co.Liberty Mutual Insuranceinsurance violation2002FL-OFR$53,000
Fireman' Fund Insurance Co.Allianzinsurance violation2002FL-OFR$13,850
Progressive Express Insurance Co. et al.Progressiveinsurance violation2002FL-OFR$5,750,000
New Hampshire Insurance Co.American International Groupinsurance violation2002FL-OFR$5,400
Zurich American Insurance Co.Zurich Insuranceinsurance violation2002FL-OFR$44,500
American Guarantee and Liability Insurance Co.Zurich Insuranceinsurance violation2002FL-OFR$10,850
Allstate Financial Services, LLCAllstateinvestor protection violation2002FL-OFR$21,300
Security National Insurance Co.Zurich Insuranceinsurance violation2002FL-OFR$31,500
ACE Cash Express, Inc. dba ACE America's Cash ExpressACE Cash Expressconsumer protection violation2002FL-OFR$500,000
Conseco Finance Servicing Corp.CNO Financialconsumer protection violation2002KS-BKG$7,275,000
Bank of LouisvilleTruist Financialinvestor protection violation2002KY-INS$27,000,000
New Hampshire Insurance CompanyAmerican International Groupinsurance violation2002MA-INS$639,576
Insurance Company of the State of PAAmerican International Groupinsurance violation2002MA-INS$124,532
AIU Insurance CompanyAmerican International Groupinsurance violation2002MA-INS$365,615
American Home Assurance CompanyAmerican International Groupinsurance violation2002MA-INS$64,546
Fireman's Fund Insurance CompanyAllianzinsurance violation2002MA-INS$20,000
Travelers Insurance CompanyTravelersinsurance violation2002MA-INS$8,600
Zurich DirectZurich Insuranceinsurance violation2002MA-INS$6,000
Zurich Life Insurance Company of AmericaZurich Insuranceinsurance violation2002MA-INS$12,000
Harleysville Worcester Insurance CompanyNationwideinsurance violation2002MA-INS$6,000
Banner Life Insurance CompanyLegal & General Group PLCinsurance violation2002MA-INS$10,900
Valley Forge Life Insurance CompanyPrudential PLCinsurance violation2002MA-INS$24,500
Ace Cash Express Inc.ACE Cash Expressconsumer protection violation2002MD-FIN$164,000
Fortis Insurance Co. and John Alden Life Insurance Co.Assurantinsurance violation2002MN-FIN$10,000
American Express Financial Advisors, Inc.Ameriprise Financialinvestor protection violation2002MN-FIN$5,000
Metropolitan Property and Casualty Insurance Co.Zurich Insuranceinsurance violation2002MN-FIN$7,500
American Family Mutual Insurance Co.American Family Insuranceinsurance violation2002MN-FIN$5,000
Austin Mutual Insurance Co. and Northern Mutual Insurance Co.American Family Insuranceinsurance violation2002MN-FIN$12,500
Travelers Indemnity Co.Travelersinsurance violation2002MN-FIN$5,000
Harleysville Insurance Co.Nationwideinsurance violation2002MN-FIN$80,000
Illinois Union Insurance Co.Chubb Limitedinsurance violation2002MN-FIN$5,000
American Family Mutual Insurance Co.American Family Insuranceinsurance violation2002MN-FIN$10,000
Chubb Indemnity Insurance Co.Chubb Limitedinsurance violation2002MN-FIN$5,000
Fortis Insurance Co. and John Alden Life Insurance Co.Assurantinsurance violation2002MN-FIN$75,000
Horace Mann Insurance Co.Horace Mann Educators Corp.insurance violation2002MN-FIN$10,000
American Income Life Insurance Co.Globe Life Inc.insurance violation2002MS-INS$50,000
Trumbull Insurance Co.Hartford Financial Servicesinsurance violation2002MT-FIN$5,000
Buck Consultants, Inc.Arthur J. Gallagher & Co.insurance violation2002MT-FIN$9,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerinvestor protection violation2002NE-DBF$5,000
Merrill LynchBank of Americainvestor protection violation2002NH-BSR$500,000
USAAUSAAinsurance violation2002OH-INS$30,000
Western Union Financial Services, Inc.Western Unionanti-money-laundering deficiencies2002NY-DFS$8,000,000
Equitable Life and Casualty Insurance CompanyEquitable Holdingsinsurance violation2002OR-FIN$25,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.